EH
Eric R. Haupt
CETERA INVESTMENT ADVISERS LLC
AGOURA HILLS, CA 91301-4313
Some features on this profile are disabled
CRD#: 810676
EH
Professional summary
Eric Robert Haupt, who also goes by Rick Haupt, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Agoura Hills, California and CETERA WEALTH SERVICES, LLC located in Agoura Hills, California.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Eric has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, Series 22TO, SIE, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Haupt
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) NAME OF ENTITY: Haupt Insurance Services, Inc; Yes; 30423 CANWOOD ST STE 114; AGOURA HILLS; CA; 91301; DBA; part owner; 9/1/1985; 60; 60; DBA for insurance and fixed sales| (2) NAME OF OTHER BUSINESS: FRIENDS OF THE AGOURA HILLS LIBRARY; INVESTMENT RELATED: NO; ADDRESS: 29901 LADYFACE COURT BOOK CELLAR AGOURA HILLS, CA 91301; NATURE OF BUSINESS: NON PROFIT; START DATE: 03/2025; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSEE THE TOTAL OPERATION OF THE FRIENDS ORGANIZATION AND THE BOOK CELLAR; (3) NAME OF ENTITY: Eric R Haupt; No; 30423 CANWOOD ST #114; AGOURA HILLS; CA; 91301; rental property; owner; 3/1/2009; 4; 4; manage office condo property| (4) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 30423 CANWOOD ST STE 114; AGOURA HILLS; CA; 91301; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/1/1975; 25; 25; SALES OF FIXED INSURANCE PRODUCTS| (5) NAME OF ENTITY: Computer Insurance Services; No; 30423 CANWOOD ST STE 114; AGOURA HILLS; CA; 91301; Health Insurance; Independent Insurance Agent; 3/1/2009; 4; 4; Sales of Health Insurance Products| (6) NAME OF ENTITY: Canwood Insurance Services; No; 30423 CANWOOD ST STE 114; AGOURA HILLS; CA; 91301; Insurance Product; owner; 3/1/2009; 1; 1; Sales of Fixed Insurance Products, LTC, Health, Disability| (7) NAME OF ENTITY: Computer Health Insurance; No; 30423 CANWOOD ST STE 114; AGOURA HILLS; CA; 91301; Health Insurance Sales; agent; 5/1/2008; 4; 4; Sales of Health Insurance| (8) NAME OF ENTITY: Eric R Haupt; No; 30423 CANWOOD ST #114; AGOURA HILLS; CA; 91301; online quote system; owner; 6/1/2008; 8; 8; screen calls, provide formal quotes after client requests additional information|
CRS (Client Relationship Summary) - RIA
Click below to view Eric Robert Haupt's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 30423 Canwood Street Suite 114, Agoura Hills, CA 91301-4313RIA
CRD#: 105644
AGOURA HILLS, CA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 30423 Canwood Street Suite 114, Agoura Hills, CA 91301-4313BD
CRD#: 13572
Agoura Hills, CA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 3, 1999 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
AGOURA HILLS, CA
Past
October 1, 1995 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
AGOURA HILLS, CA
Past
August 1, 1975 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
BD
CRD#: 4234
SEATTLE, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/9/2021)
RR
Alaska(6/9/2021)
RR
Arizona(6/9/2021)
RR
Arkansas(6/9/2021)
RR
California(6/9/2021)
IAR
California(6/29/2023)
RR
Colorado(6/9/2021)
RR
Connecticut(6/9/2021)
RR
District of Columbia(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Hawaii(6/9/2021)
RR
Idaho(6/9/2021)
RR
Illinois(6/9/2021)
RR
Indiana(6/9/2021)
RR
Iowa(6/9/2021)
RR
Kansas(6/9/2021)
RR
Kentucky(6/9/2021)
RR
Louisiana(6/9/2021)
RR
Maryland(6/9/2021)
RR
Michigan(6/9/2021)
RR
Minnesota(6/9/2021)
RR
Mississippi(2/22/2022)
RR
Missouri(8/19/2021)
RR
Montana(11/1/2021)
RR
Nebraska(1/3/2022)
RR
Nevada(6/9/2021)
RR
New Jersey(6/9/2021)
RR
New Mexico(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(8/26/2021)
RR
North Dakota(6/9/2021)
RR
Ohio(6/9/2021)
RR
Oklahoma(1/3/2022)
RR
Oregon(6/9/2021)
RR
Pennsylvania(6/9/2021)
RR
South Carolina(6/9/2021)
RR
South Dakota(6/9/2021)
RR
Tennessee(1/10/2022)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(6/9/2021)
RR
Virginia(6/9/2021)
RR
Washington(6/9/2021)
RR
West Virginia(6/9/2021)
RR
Wisconsin(6/9/2021)
RR
Wyoming(1/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/22/1975
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
